WC
William C. Cornforth
VOYA FINANCIAL ADVISORS
Austin, TX 78731
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CRD#: 4079191
WC
Professional summary
William Charles Cornforth is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Austin, Texas.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. William has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
NAME OF ENTITY:William Cornforth - Sole Proprietor; No; 2200 DICKSON DR #104; AUSTIN; TX; 78704; Musician; Songwriter/Producer/Keyboard Player; 1/1/2001; 40; 0; Play music in various banks and record music.|NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 4105 MEDIAL ARTS PKWY STE 201; AUSTIN; TX; 78756; Fixed Insurance; Independent Insurance Agent; 8/7/2015; 40; 0; Sale of fixed insurance products.| LAS CASAS VERDES HOME OWNER'S ASSOCIATION POSITION: President NATURE: Preside over the Home Owner's Association INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2023 ADDRESS: 3103 Sacbe CV, Austin TX 78745, United States DESCRIPTION: Set and Facilitate meetings of the homeowners. Set agenda. Call for votes on items that require it. Provide resale certificates to title companies. Enforce neighborhood covenants.
CRS (Client Relationship Summary) - RIA
Click below to view William Charles Cornforth's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Charles Cornforth's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 24, 2016 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 7000 North Mopac Expressway Suite 200, Austin, TX 78731RIA
BD
CRD#: 2882
Austin, TX
Current
August 11, 2015 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 7000 North Mopac Expressway Suite 200, Austin, TX 78731RIA
BD
CRD#: 2882
Austin, TX
Past
March 1, 2011 - July 14, 2015
VOYA RETIREMENT ADVISORS, LLC
RIA
CRD#: 3989
AUSTIN, TX
Past
October 6, 2010 - July 14, 2015
VOYA RETIREMENT ADVISORS, LLC
BD
CRD#: 3989
AUSTIN, TX
Past
May 7, 2002 - September 21, 2010
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
AUSTIN, TX
Past
December 1, 1999 - April 25, 2001
JANUS HENDERSON DISTRIBUTORS US LLC
BD
CRD#: 28832
DENVER, CO
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(8/6/2021)
RR
Colorado(12/8/2023)
RR
Florida(6/26/2017)
RR
Illinois(1/11/2022)
RR
Kansas(9/15/2020)
RR
New York(10/19/2021)
IAR
New York(10/11/2022)
RR
North Carolina(8/8/2025)
RR
Oklahoma(6/19/2019)
RR
Texas(8/11/2015)
IAR
Texas(2/24/2016)
RR
Utah(5/11/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Orange Way, Windsor, CT 06095
Mailing Address
One Orange Way, Windsor, CT 06095
Phone number
+1 (800) 356-2906
Established
Minnesota since 04/26/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
563
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
